Securities Law
Securities law transactions, whether pre-IPO financing or public offerings, private placements, take-over bids or restructuring by way of a plan of arrangement, are complex and fast-paced. Whether you’re investing in a start-up venture, launching an IPO, planning a corporate take-over bid or tackling a difficult regulatory issue, you need the expertise and experience the attorneys at Burns, Figa & Will, P.C., can provide.
We examine proposed transactions for compliance with the Securities Act of
1933 and the Exchange Act of 1934 and when necessary, render legal opinions as to the legality of the proposed transactions under applicable law. We advise clients on private and public company compliance with the Sarbanes-Oxley Act. If our corporate clients make the transition to public ownership, we counsel them through initial public offerings of stock, the sale of debentures, and other public securities transactions.
We regularly oversee our clients’ filings with the Securities and Exchange Commission, such as 10Ks, 10Qs, annual and quarterly reports to stockholders. When necessary, we counsel clients involved in shareholder relations issues or disputes, and we have successfully litigated issues involving violations of both state and federal securities laws when those violations have resulted in damages to our clients.
We represent a wide variety of securities industry clients, including New York Stock Exchange member firms, National Association of Securities Dealers member firms, state and federal registered investment advisors, investment companies, financial planners, money managers, and individual representatives.
Our practice areas relating to the securities industry include:
- Arbitration
- Broker-Dealer and Agent Registration and Licensing
- Class Action and Major Liability Defense
- Debt and Equity
- Dissolution and Foreclosure
- Employment and Termination Issues
- Investment Company Registration and Regulation
- Litigation
- Mediation
- Mergers and Acquisitions
- Noncompetition Agreements
- Policies and Procedures
- Privacy
- Public Offerings
- Purchase and/or Sale Agreements
- Raiding and Recruitment
- Sarbanes-Oxley Compliance
- State and Federal Registered Investment Advisors
- State, Federal, and SRO Regulatory Compliance
- State, Federal, and SRO Regulatory Defense
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